Blue Ox Healthcare Partners, LLC - Jul 19, 2021 Form 4 Insider Report for SERA PROGNOSTICS, INC. (SERA)

Role
10%+ Owner
Signature
Blue Ox Healthcare Partners, LLC /s/ John A. Neczesny, Secretary John A. Neczesny, Secretary
Stock symbol
SERA
Transactions as of
Jul 19, 2021
Transactions value $
$0
Form type
4
Date filed
7/21/2021, 05:07 PM
Previous filing
Jul 21, 2021
Next filing
Jul 19, 2022

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction SERA Class A Common Stock Conversion of derivative security +1.52M 1.52M Jul 19, 2021 By Blue Ox Healthcare Partners SP, LLC F1, F3
transaction SERA Class A Common Stock Conversion of derivative security +1.08M 1.08M Jul 19, 2021 By BXHCP SP II, LLC F1, F3
transaction SERA Class A Common Stock Conversion of derivative security +1.2M 1.2M Jul 19, 2021 By BXHCP SP III, LLC F2, F3

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction SERA Series D Convertible Preferred Stock Conversion of derivative security -1.52M -100% 0 Jul 19, 2021 Class A Common Stock 1.52M By Blue Ox Healthcare Partners SP, LLC F1, F3
transaction SERA Series D Convertible Preferred Stock Conversion of derivative security -1.08M -100% 0 Jul 19, 2021 Class A Common Stock 1.08M By BXHCP SP II, LLC F1, F3
transaction SERA Series E Convertible Preferred Stock Conversion of derivative security -1.2M -100% 0 Jul 19, 2021 Class A Common Stock 1.2M By BXHCP SP III, LLC F2, F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Represents shares of Series D Convertible Preferred Stock were automatically converted into Class A Common Stock in connection with the closing of the Issuer's initial public offering. The Series D Convertible Preferred Stock had no expiration date.
F2 Represents shares of Series E Convertible Preferred Stock were automatically converted into Common Stock in connection with the closing of the Issuer's initial public offering. The Series C Convertible Preferred Stock had no expiration date.
F3 Blue Ox Healthcare Partners, LLC is the manager of each of Blue Ox Healthcare Partners SP, LLC, BXHCP SP II, LLC, and BXHCP SP III, LLC, and may be deemed to have voting, investment and dispositive power with respect to the shares held by Blue Ox Healthcare Partners SP, LLC, BXHCP SP II, LLC, and BXHCP SP III, LLC. Charles D. Kennedy MD, Oded Levy, and John A. Neczesny, managing partners of Blue Ox Healthcare Partners, LLC, each may be deemed to share voting, investment and dispositive power with respect to these shares.